Senators Dianne Feinstein (D-CA, Energy and Water Development Appropriations Subcommittee Chairman), Barbara Boxer (D-CA), Ron Wyden and Jeff Merkley (both D-OR), and Patty Murray and Maria Cantwell (both D-WA), submitted a letter to the CFTC expressing concern that the $8 billion threshold of "de minimis quantity of swap dealing" fails to encompass the vast majority of energy-swap-dealing activity and, therefore, may prevent oversight of energy markets. The following recommendations were made in the letter: To assess how many energy swap dealers have registered with the CFTC and how many are
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On February 25, 2016, the CFTC's Energy and Environmental Markets Advisory Committee will hold a public meeting to discuss (i) the CFTC Proposed Order providing exemptive relief from CEA requirements for transactions administered by regional transmission organizations, and (ii) the Swap Dealer "De Minimis" exception.
The CFTC settled charges against an energy company accused of acting as an unregistered commodity trading advisor.
The SEC Division of Investment Management granted no-action relief to a publicly traded company from the requirement that it register its subsidiaries as investment companies.
A Texas-based company settled charges that it acted as a commodity pool operator without registering with the CFTC.